The Perfect Manual

Mark Kaganov
The
Perfect
Manual
A Guide to Lean
Management Systems
ISO 9001:2008
ISO 13485:2003
ISO 14001:2004
BS OHSAS 18001:2007
and other standards
Seventh edition
QW Enterprises, LLP, a fictional company referenced in this book,

does not have any association with any other company
that may carry the same name.
2009 Quality Works
All rights reserved. No part of this book may be reproduced in any
form or by any means without permission in writing from the
publisher, except as defined in the License Agreement.
The Perfect Manual 07

Published by Quality Works www.quality-works.com
The Perfect Manual
Chapter 1
Foreword
Chapter 1 Foreword
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1.1 Table of Contents

1
Chapter 1 Foreword .................................... 1

Table of Contents ............................................................ 2
Introduction ...................................................................... 4
About the Author ............................................................. 6
ISO Brief Overview ....................................................... 8
The History of Quality .................................................... 10
Why We Need ISO 9001 ............................................... 13
How to Work With This Electronic Book ........................ 15
2
Chapter 2 Quality Manual 101 ................... 18
2.1 What is a Quality Manual? ............................................. 19
2.2 Quality Manual Two Philosophies............................... 22
2.3 Quality Manual The Ten Commandments .................. 25
2.4 Quality Manual Model .................................................... 26
3
Chapter 3 Getting Started ......................... 28
3.1 Documentation Structure ............................................... 29
3.2 Naming Your Documents .............................................. 30
3.3 Numbering Your Documents ......................................... 31
3.4 Forms: To Control or Not to Control .............................. 34
4
Chapter 4 Key Processes ........................... 37
4.1 Documentation Master List ............................................ 38
4.2 Change Record ............................................................. 40
4.3 Document Distribution Matrix ........................................ 42
4.4 Documents of External Origin ........................................ 44
4.5 Document Reference Matrix .......................................... 46
4.6 Document Template Procedure ..................................... 49
4.7 Documentation Management Procedure ....................... 51
4.8 Organizational chart ...................................................... 54
4.9 Records Procedure........................................................ 57
4.10 Records Matrix .............................................................. 59
4.11 Quality policy ................................................................. 60
4.12 Quality Manual .............................................................. 65
1.1
1.2
1.3
1.4
1.5
1.6
1.7
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4.13
4.14
4.15
4.16
4.17
5
5.1
5.2
6
6.1
7
7.1
7.2
7.3
Quality Manual Review Checklist .................................. 66

Documentation Change Record (DCR) ......................... 68
Documentation Change Record Log ............................. 70
Summary ....................................................................... 71
The First DCR ............................................................... 72
Chapter 5 Customizing your
Quality Manual .......................................... 74
Navigation ..................................................................... 75
Corporate Manual .......................................................... 77
Chapter 6 Documents ................................ 84
Documents - Table of Contents ..................................... 85
Chapter 7 Afterword ................................. 86
Afterward ....................................................................... 87
License Agreement........................................................ 89
References .................................................................... 90
Chapter 1 Foreword
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1.2 Introduction
Back to Table of Contents
Through my work as an auditor and a consultant with dozens
of companies in the United States, Great Britain, Mexico,
Japan, Russia and Southeast Asia, I have witnessed the
implementation of numerous quality management systems
(QMS) and environmental management systems (EMS).
Assessing various systems, I realized that what seemed to be
a simple task of creating a quality or environmental
management system manual and documenting a companys
commitment to a particular standard can create significant
difficulties for businesses of various sizes, in diverse
industries, in different countries. Simply speaking, during my
career in the registration and consulting businesses, I have
not yet seen a manual during an initial review that addressed
all the requirements of applicable standards.
I wrote this book for two reasons. First, I wanted to help
companies overcome the tedious and time-consuming task of
developing a quality or environmental manual by showing an
example of a manual for ISO 9001 2008 (ISO 9001) [2]
standard. Second, and more important, the purpose of this
book is to show a method for creating a quality, environmental
or any other manual, so that in the future, you can develop a
manual for any standard or regulation, whether it is ISO
13485, AS9100, FDAs 21 CFR 820, European Council Directive
93/42/EEC or any other.
This book describes a model of a quality manual and several
key processes to support the initial release of the manual.
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The documents and approaches described in this book have

been successfully implemented and used by dozens of
companies around the World. This book will help both
beginners and experienced professionals develop clear and
concise manuals and efficient documentation structures for
their management systems.
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1.3 About the Author

Mark Kaganov was born and raised in Moscow, Russia. He
graduated from Moscow University of Radio-electronics and
Automation, where he earned his Bachelors and Masters
degrees in design and technology of electro-mechanical
equipment. While attending the university, he worked for the
Institute of Plastics, the former USSRs leading organization in
the research and development of plastic materials. Mr.
Kaganov designed manufacturing processes, and developed
test equipment and processing methods for materials used in
electronics, automotive, aerospace, agricultural, consumer and
other industries. In the late 1970s, Mark Kaganov was an
active member of the group representing the USSR on the ISO
Technical Committee (TC) 61 that worked on the development
of test methods for plastic materials for ISO standards.
In 1981, Mr. Kaganov immigrated to the United States and
continued his professional career in Quality Management and
Research & Development in the plastics, electronics, and
medical device manufacturing industries. He has worked for
major US corporations such as Capitol Records, RCA, COBE
Laboratories and Medtronic.
Since 1990, Mark Kaganov is a Director of Operation and a
Lead Consultant at Quality Works. The company specializes in
assisting businesses with development, implementation,
consulting, training and auditing of management systems
compliant with ISO 9001, ISO 13485, ISO 14001, AS9100, BS
OHSAS 18001 and FDA 21 CFR 820.
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Since 1996, Mark Kaganov worked for a number of worlds

leading registrars and notified bodies as an Account Manager
and a Lead Auditor. His qualifications include ISO 9001, ISO
14001, ISO 13485, Medical Device Directive 93/42/EEC and
Canadian Medical Device Regulations. In early 1998, Mark
Kaganov led the first registration assessment in North America
to the ISO 13485 standard for medical device manufacturers.
His industrial experience covers plastics, electronics, optics,
aerospace, automotive, defense, medical equipment
manufacturing and others.
Working in the registration business, Mark Kaganov has
assisted dozens of companies around the world in certifying
their ISO 9001, ISO 13485 and ISO 14001 management
systems. For a number of years, Mark Kaganov has been
certified as a QMS Lead Auditor with the International Register
of Certificated Auditors (IRCA), England and an EMS Lead
Auditor with the Registrar Accreditation Board (RAB) in the
US.
During his professional career, Mark Kaganov has published
several books and technical papers in the areas of research of
plastic materials, the economics of manufacturing, the
technology of ion-selective electrodes, QMS, EMS and Internet
business. His first book, ISO 9001 - A Practical Guide to the
Development and Implementation of a Quality Manual, was
translated into Russian. Shortly after Standards and Quality
Press released the book in Moscow in 1999, it became an
instant success. Mark Kaganov has also authored five
international patents. For more details on the authors
background and qualifications, visit Quality Works Website at
www.quality-works.com/Mark-Kaganov.htm
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1.4 ISO Brief Overview

ISO is a non-governmental organization established in 1947 in
Geneva, Switzerland. Today, ISO has more than one hundred
member countries. The mission of ISO is to promote the
development of standardization and related activities in the
global marketplace, to simplify the international exchange of
goods and services, and to develop cooperation in the spheres
of intellectual, scientific, technological and economic activities.
The term ISO refers to the International Organization for
Standardization. You may be curious about the difference
between the names of the organization: International
Organization for Standardization
(http://www.iso.ch/infoe/intro.htm), and the initials, ISO. If it
were an acronym, youd think it would be IOS. But the truth
is, its not an acronym.
ISO is derived from the Greek word isos, which means
equal. The prefix -iso occurs in many words, such as
isometric, meaning equal measure or dimensions, isonomy,
meaning equality of laws or people before the law, and others.
From equal to "standard," the choice of ISO as the name of
the organization is easy to follow. The name also has the
advantage of being the same in each of the organization's
three official languages - English, French and Russian.
Therefore, the confusion that would arise through the use of
an acronym is avoided. In other words, IOS would not
correspond to the official title of the organization in French -
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Organization Internationale de Normalisation or in Russian
.
What does this worldwide standardization mean to you and
me? Well, thanks to ISO, for example, we can get cash from
an automated teller machine (ATM) in New York City, Hong
Kong, Buenos Aires or Moscow. The format of the credit cards,
phone cards and smart cards is based on a series of ISO
standards. The use of these standards, which outlines features
such as the size and thickness of the card as well as the
location and data format on the magnetic strip, means that all
ATMs, telephones and other card machines throughout the
world can read the cards. Since its establishment, ISO has
focused primarily on the development of product-specific
standards. However, in the mid 1980s, ISO started its work on
systems-related standards. This direction eventually resulted
in the well-known ISO 9000 series of standards, ISO 13485
for medical device manufacturing, ISO 14001 environmental
management systems and others.
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1.5 The History of Quality

The history of requirements for quality systems, or at least
some elements of quality systems, goes back to pre-historic
times. Almost 4,000 years ago, in the 18th century B.C.,
Hammurabi, the king of Babylonia, developed the first
recorded code of law. The Hammurabis Code is a collection of
laws and edicts, and is considered the earliest comprehensive
legal standard. The code was engraved on a block of black
diorite nearly 2.4 meters, or 8 feet high. A team of French
archaeologists unearthed this block in Susa, Iraq, formerly
ancient Elam during the winter of 1901-1902. The block,
broken into three pieces, has been restored and now rests in
the Louvre Museum in Paris. Hammurabis Code, translated by
L. W. King [2], presents a few articles that appear to relate to
a quality system:
Article 122. If any one give another silver, gold or
anything else to keep, he shall show everything to some
witness, draw up a contract and then hand it over for
safe keeping.
Article 229. If a builder builds a house for someone,
and does not construct it properly, and the house which
he built fall in and kill its owner, then that builder shall
be put to death.
While article 122 implies the need for a contract, required by
element 7.4.2 of the ISO 9001 standard, article 229 appears
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to refer, quite extremely one might say, to a corrective action,
required by element 8.5.2 of the standard. Centuries later, on
January 11, 1723, Peter the Great issued a decree, also, as a
corrective action I presume, to whip the owner of the Tulsks
Armory Plant for supplying defective ammunition to the Czars
army.
The history of standards for contemporary quality systems
traces back to 1959. Then, the U.S. Department of Defense
released a quality management program under the
designation MIL-Q-9858. For nearly three decades, this
standard was primarily used in the U.S. defense and
aerospace industries. In the mid 1960s, the former Soviet
Union introduced a national standard (KC YKP) in an attempt
to manage quality across the country.
In 1979, the British Standards Institution (BSI) developed the
first commercial standard for quality systems that became
known as BS 5750. That same year, BSI issued its first
certificate to a small cement plant in England for compliance
with BS 5750. It took almost another decade for the
international community to recognize the benefits of standards
for quality systems.
In 1987, ISO completed and released its 9000 series of
standards, incorporating most of the elements of BS 5750 into
its ISO 9001 standard. The ISO 9000 series of standards first
gained popularity in Europe, when the European Union (EU),
under the title EN 29000, adopted ISO 9000. By the late
1980s, BS 5750 and ISO 9000 standards had reached the
U.S. market.
ISO 9001 standard is not product specific and can be used by
a wide range of manufacturing and service companies. Long
time ago, I saw a flag-size poster on a theater in Singapore
bragging about its registration to the ISO 9001 standard. One
of my European colleagues recently mentioned that he
received an application to register a church choir.
The ISO 9001 standard requires that a company develops and
implements a basic quality management system, using the
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specific elements to ensure the company is capable of
maintaining uniformity of its processes and, as a result,
provides its customers with a consistent quality of products
and services. ISO 9001 group comprises a series of standards
outlining the requirements and guidelines for quality
management systems. There are three core standards in this
group:
ISO 9000:2005 - Vocabulary [3]
ISO 9001:2008 - Requirements
ISO 9004:2000 - Guide for performance improvement [4]
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1.6 Why We Need ISO 9001

Businesses worldwide have to confront the challenges of an
ever progressively intricate, competitive and challenging
business environment. Numerous aspects are involved in the
process from winning bids with the right margins, producing
goods or services per agreed upon requirements, managing
resources and costs, and others. If effective planning and
execution are not present, negative financial consequences
are inevitable. As a result, companies develop systems and
processes to reduce or eliminate potential pitfalls, streamline
operations, ensure cohesive relationships between functions.
ISO 9001 standard provides well-tested and recognized
foundation for such an environment.
An ISO 9001 compliant quality management system provides
strong assurance that companys processes are in compliance
with documented requirements to fulfill contractual obligations
and customer needs. ISO 9001 QMS promotes a systematic
approach to effectively manage business operations by
providing a structure for processes, focusing on continual
improvement and reducing errors and waste.
Most companies that have implemented ISO 9001 or similar
systems report significant improvements in productivity due to
an increase in customer satisfaction and reduction in customer
returns and internal failures. Effectively implemented quality
systems help to define processes and develop discipline, which
in turn, helps to do things right the first time. A published
survey showed that companies that implemented a quality
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system for QS 9001 reduced failure rates by 40 percent and
customer returns by 54 percent, reducing total cost of
nonconformance by 53 percent. [5]
Most companies that undertake the effort to implement ISO
9001 quality management systems are better prepared to
satisfy their interested parties, including their customers.
Some of the advantages of an effective quality system
include:
Formalized systems ensure consistent quality and punctual
delivery of products to the customers;
Fewer rejects result in less repeated work and warranty
costs;
Errors are detected at the earliest stages and not repeated;
A simplified environment for managing periods of change or
growth;
An improved awareness of company objectives;
Responsibilities and authorities clearly defined;
Improved utilization of time and materials;
Improved relationships with customers and suppliers;
The benefits of use of a Registrars logo on marketing
materials;
An improved corporate quality image;
A reduced number of customer audits;
An improved record management system in case of
litigation, and others.
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1.7 How to Work With This

Electronic Book
When you purchase this publication we will e-mail you a .zip
file with template documents in Microsoft Word and
Microsoft Excel formats listed in the Documents Chapter.
It is a good idea to organize your QMS documents in some
sort of a system on your computers hard drive or better yet
on your server. For example, you may create the following
folder structure:
(E:)
Management system
Archive documents
Current documents
Documentation Master List 01
Document Template Procedure 01
and so on
External documents
ISO 9000:2005 Standard
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Records
DCRs
DCR 1001
DCR 1002
Management Reviews
Management review 080721
and so on
Redline documents
Documentation Master List D2
Document Template Procedure D2
Documentation Management Procedure D2
Organizational Chart D2
DCR Form D2
DCR Log D2
Records Procedure D2
Quality Manual D2
Quality Policy D2
Quality Manual Review Checklist 9001:2008 D2
References (Entire folder - read only)
Documentation Master List D1
Document Template Procedure D1
(All original documents you ordered)
The first thing we need to do is to copy all your new document
templates into your References folder. Make sure that all
these files are read only and cannot be accidently changed. All
these files are identified as revision D1, meaning that they are
in a draft stage and this is the first draft revision.
To start working with your files, we need to move them into
your Redline documents folder. After you copy the files, you
may start modifying the contents of the files to reflect the
conventions of your documentation system and practices of
your company. To differentiate your revisions from the original
drafts, I suggest you identify them as revision D2 or second
draft. To work effectively with these files, you need to be
familiar with Microsoft Word formatting features. While
modifying the documents, make sure that you do not delete
section breaks. This formatting feature is widely used
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throughout the documents. If deleted, they will affect the
appearance of pages and the contents of the footers and
headers.
Visit our Website to learn about electronic documentation
systems at www.quality-works.com/dms
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Chapter 2
Quality
Manual 101
2
Chapter 2 Quality Manual 101
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2.1 What is a Quality

Manual?
A quality manual is the main, top-level document of a quality
management system. It is similar to a constitution of a
country or a manifesto of a party. This type of document
establishes the policy level position of a government, party or
in the case of a quality manual, a companys QMS. There are
two published definitions of what a quality manual for an ISO
9001 system should be:
ISO 10013, Guidelines for Developing Quality Manuals [6],
element 4.2, gives detailed suggestions for creating a quality
manual. It defines a quality manual, among other
requirements, as a document that should consist of, or refer
to, the documented quality system procedures intended for
planning and administration of activities which impact on
quality
ISO 9001:2008, element 4.2.2 describes a quality manual as a
document containing:
a)
b)
The scope of the quality management system, including

details of and justification for any exclusions;
The documented procedures or reference to them;
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c)
A description and interaction between the processes of

the QMS.
If we follow the requirement 4.2.2 of ISO 9001:2008

Standard, our quality manual simply need to contain:
The scope of the organizations activities,

Identification and justifications for any exclusions,
A description of the QMS processes,
References to documented QMS procedures, and
Interaction between the processes of the QMS
After we defined our scope and formulated exclusions, we

have to describe applicable QMS processes per ISO 9001
Standard. This task is quite simple. We just need to transform
the standard from a set of requirements into your companys
commitment to satisfy those requirements with the
appropriate level of details. You also may consider including
into your quality manual:
A table of contents,
Company information,
Procedure index,
Manual-to-standard correspondence table, if your
manual numbering differs from the standard, and
Standard-to-manual correspondence table, if you
develop an integrated manual.
These features will help you easier navigate the manual.

Another important function of a quality manual, very often
overlooked, is as a marketing tool. Well written and
professionally published, a quality manual may become a
powerful marketing instrument. It can communicate to your
potential customers, suppliers and subcontractors that your
company is not only a quality-conscious organization, but that
it also knows how to document and communicate its
commitment to quality. I always wonder what companies
achieve by stamping their quality manuals with
CONFIDENTIAL red stamp in bold capitol letters. As far as
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Im concerned, a quality manual is a companys resume for

quality, and if you hide your resume, there is a very good
chance you will never get a job! All Quality Works customers
are encouraged to make their quality manuals public. You may
easily see how many companies followed this philosophy and
put their quality manuals on their Websites: just type quality
manual in your browser!
Once I browsed a trade show in Hong Kong. One of the
displays attracted my attention with impeccable composition
and very professional color coordination. As I approached the
booth, I saw a Chinese woman talking to a group of visitors.
While enjoying the artistic displays, I noticed a thin book on
the counter. The cover contained a few artistically arranged
Chinese characters and the logo of one of the Worlds largest
registrars. I leafed through the book wondering what business
this company was in lighting fixtures as it appeared from the
displays, or perhaps publishing books in Chinese for the
registrar.
Meanwhile, the woman finished the conversation with her
visitors and approached me. We introduced ourselves and she
enthusiastically started to tell me about her company. When I
asked her what her company had to do with publishing,
referring to the booklet, she replied with a proud smile: This
is our quality manual! She said the company put a lot of
effort into it. But, she continued, Its paid for itself many
times over by generating business for us. Someday Id like to
frame that manual and put it on the wall its a beautiful
piece of art!
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2.2 Quality Manual Two

Philosophies
There are two schools of thought concerning the origin of
manuals and other management system documents. One
categorically declares that a template-based quality manual
will not work and that each company should develop its own.
This conviction stems from the belief that if documents are not
written within the company, its personnel will not have
accountability for them and will not follow them.
If one were to carry this thought to the next level, one might
find it necessary to reject such common tools as Newtons
laws, multiplication tables, Microsoft Word and others not
written by end users. It is often helpful to use a sample to
achieve a desired outcome. It isnt always necessary or
practical to reinvent the wheel. Writing your own documents
does not necessarily mean that your personnel will follow
them. I have worked with companies that wrote their own
manuals and procedures and still did not use them, not having
a clue as to what was written in them!
Another point of view, to which I adhere based on years on
experience, is that a quality manual is a generic document.
Virtually any company can use a model of a quality manual to
develop its own from scratch, or to enhance an existing one.
I have seen proof of this in a number of companies of various
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sizes in different parts of the world. Based on the thousands of

template procedures that are being sold, there are also very
strong indications that many second-level processes are
generic enough to use a model for their construction.
One of my clients recently demonstrated the benefits of this
approach. The company purchased templates for the top-level
documentation. Key personnel had experience and were quite
familiar with the QMS concepts. The company was a small
start-up of approximately 30 people. It took them only three
months to implement a functional system and achieve ISO
13485 certification.
If you adhere to the first school of thought and believe that a
company should develop its own quality manual from
scratch, you may not need this book. However, you still may
want to use it later to check how well you have done the job.
You may create your own manual by toiling through
numerous, difficult-to-read and understand standards, figuring
out various cross-elemental specifics and implied references,
finding interpretations and learning through your own
experience.
There is nothing wrong with this approach. As a matter of fact,
I went the same route when I was learning the trade. I have
studied the standards for years, interpreted them by
communicating with experts in the field, reviewed dozens of
manuals and assessed dozens of companies. As with anything
else, you can rely on the experience of experts, or make a
significant investment in becoming an expert yourself. It is
you choose
To assess the cost of developing a quality manual for ISO
9001 standard, I surveyed about three dozen of my customers
to estimate the time they spent preparing their quality
manuals. All surveyed personnel reported average to high
levels of expertise in quality management systems. Responses
indicated that the time span was between two and four weeks,
with an average of three weeks.
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Based on a U.S. salary survey data, [7] a quality manager, on

the average, made approximately $86,000 a year. This
translates, for three weeks, into about $6,000 for direct time
only. Add to this number approximately 100 percent
overhead, which is typical for a medium- to large-size
company, and you may easily end up paying about $12,000
for a document that contains some 30 40 pages. For this
price, itd better be good! If you agree this cost is too high,
lets talk about how this book can help you develop your
quality manual for a small fraction of that cost.
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2.3 Quality Manual The

Ten Commandments
1
2
3
4
5
6
7
8
9
10
Thou Shalt Not shy away from purchasing and using

Quality Works' models of quality manuals and
documentation to save Thous time and money.
Thou Shalt create a quality manual as companys QMS
resume and a marketing tool for the benefit of all
interested parties.
Thou Shalt ensure that thy quality manual covers all the
requirements of applicable standards.
Thou Shalt Not go crazy referencing the same standards
and regulations in the quality manual over and over
again
Thou Shalt include in thy quality manual a table of
contents and the scope.
Thou Shalt reference thy quality policy in thy quality
manual.
Thou Shalt Not put technical or proprietary information
into Thous quality manual.
Thou Shalt create a cross reference matrix between
corresponding standards and Thous quality manual
Thou Shalt Not create duplicate systems to deal with
identical or similar processes.
Thou Shalt Not ignore sub-elements and details of the
standards in Thous quality manual.
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2.4 Quality Manual Model

Now lets get serious Since you have read this far, I take it
you are not sitting in a library or at your computer loaded with
CDs reading standards. So lets talk about our model of a
quality manual and see how it can save you time and a
significant amount of money in getting your company started
in the creation of a quality management system that meets
the requirements of the ISO 9001:2008 standard and also
makes good business sense.
Our model of a quality manual follows a straightforward
approach. It establishes the commitment of a company to the
particular standard in a short and concise form. If the element
5.6.1, for example, states that the Top management shall
review the organizations quality management system, at
planned intervals, to ensure its continuing suitability,
adequacy and effectiveness, our manual will state:
QW Enterprises, LLPs top management reviews the
quality management system at least quarterly to ensure
its continuing suitability, adequacy and effectiveness per
the Management Review Procedure.
Following this approach in documenting commitments to
specified requirements, we will end up with a quality manual
that addresses all applicable requirements of the standard and
provides references to supporting documents. I know you are
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eager to start working on your quality manual right away, but

there is more preparation to be done. A quality manual is not
a stand-alone document. Being only a part of a quality
management system, our quality manual requires a few
supporting processes.
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Chapter 3
Getting
Started
Chapter 3 Getting Started
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3.1 Documentation
Structure
ISO 10013, Guidelines for Developing Quality Manuals, gives
an example of a documentation structure for ISO 9001 quality
systems. While this document suggests using a three-level
structure, most companies implement four-level
documentation structures to include records, as required by
element 4.2.4 Control of quality records, of the ISO
9001:2008 Standard. A typical four-level documentation
structure includes: Quality Manual, Procedures, Instructions
and Records.
Actually, the documentation structure starts from the policy.
The policy defines, among others, commitments to what
standard a company intends to comply with. If you choose to
use this approach, your quality management system
documentation will have five levels, similar to the structure
below:
Quality policy
Quality Manual
Procedures
Instructions
Records
level
level
level
level
level
1
2
3
4
5
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3.2 Naming Your

Documents
As you may have noticed, the titles of the documents in the
structures above are quite short. Various companies use
different conventions for their document titles, very often
excessively wordy. For example, one of my customers titled
their quality manual Quality Management System Quality
Manual. In my opinion, these tongue-twisting explicit titles
are waste of time and money: somebody has to type them
and everybody has to refer to them all the time.
It is a very typical convention in the medical device
manufacturing and other regulated industries to call the
second-level documentation Standard Operating Procedures,
known as SOPs. Unless one has a level called Non-standard
Operating Procedures, I really do not see a practical or
economical reason for long titles like these. As long as the
short name conveys the idea and leads us to the right place,
lets use it. I will promote this optimization and reduction of
waste approach throughout this book. Lets not make things
more complicated than they practically need to be.
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3.3 Numbering Your

Documents
It is not a specific requirement of the ISO 9001 or any other
standard to identify a part or a document by its number. It is
perhaps a common-sense measure and a worldwide practice in
any documentation system, to give a document or a
component a number, a title and to identify its revision level.
As with documentation titles, document numbering is also an
area for creativity and an opportunity for optimization.
I once worked with a company of less than 100 people,
manufacturing fairly simple devices. Their documentation
system consisted of a few numeration systems depending on
the type of document. One of the procedures had a number
0000057-001, which they simply called fifty seven. Drawings
though had numbers similar to 327-856-99-17.
Is it acceptable to have long and difficult-to-read and
remember numbers? Yes, of course! Is it practical? I do not
believe so! In the example above, the procedure number,
without the tab, contained seven digits. This meant that the
system was prepared to handle almost 10 million document or
part numbers (PN). The company had approximately 250
documents and probably would never go beyond 300. If
nothing else, just reading these numbers with five sequential
zeros may give one a headache. Those folks figured it out too
- that is why they called that document 0000057-001 just
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fifty seven. Surprisingly, this is not the worst case I have

experienced! The company that won my The Worst Part
Number Grand Prize used 12 (!) alphanumeric characters to
identify their part numbers.
If you are designing and building a Trident-class submarine, a
MIG-27 jet fighter or an international space station, you most
likely will need millions of parts, so a long part number format
would be justifiable and will make sense. Otherwise, save
yourself the trouble of reading all those zeros and make your
numbering system practical. If your operation is small, use a
four-digit part number format that allows for 9,999 parts,
which is probably enough for majority of companies. Ten
thousand parts is too much? Drop it to three digits you may
always change it later if you need to. One of my customers,
who won my The Best Part Number Grand Prize, numbered
their documents as 101, 102, 103, and so on. Short and
sweet!
Another issue with the part-numbering format is part number
designation. Some systems associate a part number with a
particular part type. For example, 10xxx indicates a
procedure, 20xxx indicates a drawing, PLxxx indicates a
policy-level document, and so on. My experience with a
number of medical device manufacturers has convinced me in
the benefits of a no designation system. Three systems that
used designation formats I worked with have failed. Just
recently, one of my customers reported that they ran out of
range in their part-numbering format. The system allowed for
identification of material type through a two-digit designator
within the part number. When the system was designed a few
years ago, needing more than 99 materials was not
considered possible. Unfortunately, things changed, and just a
few years later, the company needed more than 99 materials
causing the existing part number format to fail.
Despite these limitations, many companies still use
designation-based document or part-numbering systems. A
Design Management Procedure, for example, may be
numbered as SOP 4.4-1. With ISO 9001:1994, it meant that
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this document related to element 4.4, design management.

Well, it does not mean the same in the new ISO 9001:2008
revision, simply because design management clause now
addressed in the clause 7.3.
What is the solution and how to resolve such issues now? The
part-numbering format either becomes designation-free and
those 4.4, 4.5 and others do not mean anything anymore or
somebody needs to change the numbers of all quality system
documents within the company, with no practical benefits to
the company for this Herculean task! Customers and
shareholders definitely will not see any rewards for this
initiative. An alternative approach to designation-based part
numbering is a designation-free system. In such systems
parts are given sequential unique numbers within a specified
format, regardless of their type, material, application or other
attributes.
Going further with this optimization initiative, one may ask
why we need part numbers at all. Isnt the part title the best
designator? Isnt Records Procedure 01 a unique set of
characters? Why then do we need to add to it QSP-07 or
something like this? Through my auditing and consulting
career I met just very few companies that used these numberfree systems. Less to write, less to remember, less chances to
make mistakes life is good! Our approach to development of
documentation system also suggests using only part title and
its revision level to identify a document or a part. For
example: Records Procedure 01.
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3.4 Forms: To Control or

Not to Control
One of the controversial issues with interpretation of ISO
9001:2008 Standard and others is control of forms. Many
companies, by some reason, treat forms differently than
documents, leaving them not controlled. I believe the
Standard clearly defines requirements for control of
documents in element 4.2.3:
Documents required by the quality management
system shall be controlled.
Forms and tables are frequently used within management
systems. Often, it is not necessary to write a traditional
instruction with the purpose, scope and details of a process if
a simple table is sufficient to provide these instructions. One
of the typical non-conformities that companies get during
audits of their management systems is against forms that are
not part of the documentation system. When questioning the
validity of a form without a number, I often hear: This is just
a form. It always escapes me, why should a form be different
from any other instruction? How would we know that we need
a form if it is not referenced in our documentation system?
After all, if you are not managing forms and decide to modify
them, how can you be sure that the latest revision is being
used? At best it would be difficult. In practice it would be
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impossible. Well, exactly what is a form? A quick quiz will help

answer this question. What would you call the list in Figure 1?
Figure 1
1
Use the form below
Your company name
2
3
Your company URL
Enter your companys name into the first column;

Enter your companys URL into the second column
I bet that most of you would call this three-line direction an

instruction or a procedure. If we follow this instruction, we
most likely will end up with a figure like this:
Figure 2
Your company name
My Company, Inc.
Your company URL

www.mycompnay.com
Now, imagine that we were given the same blank table

without written instructions. Wouldnt we do exactly the same
as following Figure 1 instructions? Are we going to end up with
the same Figure 2 when we are done? To make long story
short, if we agree that our first three-line instruction in English
was a real instruction, that justifiably needs to be controlled,
the second, blank form, resulting in the same output as a
written instruction, must also be a controlled document!
I think that the confusion regarding forms is based on the fact
that forms serve two purposes. Blank forms are concise
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instructions written in tabular language. After a form is filled

out, it becomes a record. Unlike instructions, records are not
expected to have a part number or a revision level. Records
are managed in a different manner. Lets remember this and
treat our blank forms as instructions letting the documentation
management process govern them. There are a couple of
simple tests you may take when you are tempted to use a
form that has not been assigned a part number or otherwise
identified:
If you created a form and found it had been changed,

would you like to know who did it and why?
If you changed your form, would you like personnel to
use the most resent revision?
If you were on vacation, would you like folks to be able
to locate your form just by finding a reference to it in
your documentation system?
If you answered, yes at least once, your form is a definite

candidate for being a controlled document, and falls under the
scope of your documentation management process.
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Chapter 4
Key
Processes
Chapter 4 Key Processes
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4.1 Documentation Master

List
Even though ISO 9001 does not require a Documentation
Master List, it still may be a good idea to have one. A master
list is an index of all documents used in a company,
referencing their titles and revision levels. A master list may
be seen as a map to your documentation system with key
information regarding documents, such as status, issuing
Documentation Change number and date and obsolete
Documentation Change number and date. We will start
creating our documentation system from this map.
Apparently, the master list is a good candidate for a tabular
format. Since we agreed that these documents should be
controlled, lets title this document Documentation Master List
and assign its current revision D1. A copy of this document is
shown in the Documents Chapter.
Obviously, Documentation Master List is practical only for
paper-based systems. If your organization uses an electronic
system, the list of current documents may serve as
Documentation Master List.
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4.2 Change Record

It is practical to keep records of documentation changes. As a
matter of fact, in some regulated industries it is a
requirement. These records contain such information as the
purpose of change, effectivity dates for new documents,
evidence of review and approval, and others.
There are numerous ways companies achieve this. The most
popular approach is to have a Documentation Change Record
as a stand-alone document with the corresponding sections.
We will use this approach and will discuss this document later
in this publication.
Another frequently used approach is to document change
information within the document itself. While I have seen a
number of management systems utilizing this method, I do
not believe it is practical. Eventually, after numerous changes,
the document grows due to change information pages which
are not essential for most users.
Regardless of the method you choose, it is helpful to have a
summary of change. For example, correction of errors,
improvement, modification due to process changes, etc. These
short descriptions will allow you to trend reasons for change
and therefore assess effectiveness of your documentation
management system. This summary of change is included in
our Documentation Master List as shown below:
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4.3 Document Distribution

Matrix
A document distribution matrix is a mechanism for recording
the location of hard copy documents. Element 4.2.3 of the ISO
9001 standard requires to ensure that documents are
available at points of use. There are a couple of approaches
that businesses use to keep track of document locations. One
is to have a distribution matrix on the document itself. The
benefits of this approach, while quite frequently used, are not
clear. What if we need to add a department or a person to this
list? I suppose we will need to revise the document only for
the purpose of adding a line to the distribution table. It does
not appear to be practical or economical.
Another method is to create a distribution matrix. This matrix
may be a part of our Documentation Master List and may look
like this:
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Document title
Documentation Master List
Template Procedure
Documentation Management
Procedure
Organizational Chart
COO
------1
Distribution Matrix
QA R&D Fin
1
----1
----1
----1
This matrix shows that the QA department has 1 copy of all

documents. It also indicates that one copy of the
Organizational Chart is distributed to each department. This
system is successfully used by a number of businesses which
utilize hard copy based systems. Distribution Matrix section of
our Documentation Master List is shown below:
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4.4 Documents of External

Origin
Element 4.2.3 of ISO 9001 standard requires us to manage
documents of external origin. It is expected that the revisions
of such documents as national and international standards and
regulations, customers drawings and suppliers specifications
be monitored to ensure that only the latest or specified
revisions of these documents are used. There are a number of
approaches to keep track of the revisions of external
documents. The three most common are:
(1)
Subscribe to a service that provides information related

to revision changes to the external documents. While
this approach appears to be the most convenient,
consider the costs associated with this approach.
Depending on how many standards and documents you
need to track, your cost may be significant. For
example, one of my customers is tracking some 50
standards, for which they are paying about $7,000 per
year. These services will track national and international
standards, but doubtfully will engage in tracking your
customers drawings and suppliers specifications.
(2)
Do-it-yourself - if we employ this approach, we will

need to periodically contact the issuer of the standard,
drawing or other document to verify its current revision.
If we choose to track our external documents by
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ourselves, we may create an external document list with

the document name, current revision level, companys
phone or URL and who verified it and when. To
document this process we may use our existing
Documentation Master List as shown in the
Documentation Chapter.
(3)
Assign responsibility - if we employ this approach, we

may simply place a label on each standard saying, for
example, It is the responsibility of the user to verify
that this is the most recent revision of this document
prior to use. This will establish a method of control.
A comparison of these methods shows that the least

expensive, but also least reliable, is the third method, while
the most reliable and expensive is the first. Make a choice
depending on your budget and needs.
Since our quality management system is intended to comply
with ISO 9001 Standard, we need to add at least this standard
as an external document to our Documentation Master List.
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4.5 Document Reference

Matrix
If you use a paper or manual system, a document reference
system may serve as a where used list for a product
structure, similar to a Bill of Materials (BOM). Lets say that
you referenced several instructions in one of your documents.
After a while, one of these instructions becomes obsolete. How
do we know where references to this obsolete document are
located, so we can update them? There are a few approaches
to this.
Some companies, using their Material Requirement Planning
(MRP) systems, create a BOM for each document specifying
what documents are referenced within. When a document
becomes obsolete, you simply run your where used report to
know where it was referenced. If you do not use such a
system, a reference matrix may be a part of your
Documentation Master List. An example of this matrix may
look like this:
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N/A
Yes
Yes
--N/A
---
--Yes
N/A
-------
Yes
---
---
N/A
Documentation
Management Procedure
Documentation Master List

Template Procedure
Documentation Management
Procedure
Template Procedure
Document title
Documentation Master
List
Reference Matrix
This matrix shows that our master list references all

documents in it and the Documentation Management
Procedure, for example, references the Document Template
Procedure. So, if we decide to obsolete the Document
Template Procedure, this matrix will allow us to know that it is
referenced in the Documentation Management Procedure.
Therefore, the Documentation Management Procedure also
needs to be updated to reflect this change.
Another approach to the reference matrix may be
computerized hyper linking. If your documents are located on
your computer system or within an electronic Documentation
Management System (DMS) with hyperlink management
capabilities, references simply may be established through the
use of hyperlinks. If a document becomes obsolete,
verification of its hyperlinks will provide a list of the
documents where the obsolete document was referenced or
your DMS will remind you to update the link. More
information on on-line documentation management systems
can be found at http://www.quality-works.com/dms.htm
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4.6 Document Template

Procedure
None of the standards require specific formats for documents
used within a management system. Particular requirements
may apply if you choose to follow particular national or
international standards and reference them in your quality
system as external documents. For example, a format for
drawings becomes a requirement, if we choose to comply with
ASME-Y14.100, Engineering Drawing Practices.
It is a good practice to provide guidelines on how to format a
quality manual, a procedure or a document of any level. This
will help to create documents with a consistent format and
professional appearance. Consistent appearance of documents
is especially critical for documents with external distribution,
as the format becomes a corporate identity issue. It is not that
uncommon for large, well established corporations with a
strong corporate image to have 2-3 inch thick Corporate
Identity Manual. To specify a format for our quality manual,
procedures and instructions lets issue a document called
Document Template Procedure shown in Documentation
Chapter. Lets add it to our Documentation Master list with the
D1 revision.
Similar to the Document Template Procedure, you may
consider creating similar templates for forms in portrait and
landscape formats. These templates will not only help you with
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consistency of appearance of document, but also will save you

a lot of time while creating new forms.
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4.7 Documentation
Management Procedure
Element 4.2.3, Control of documents, of the ISO 9001
standard requires the establishment of a documented
procedure for this area. A quality manual is a document and
therefore is subject to element 4.2.3 requirements. So, before
we start working on the quality manual, we have to develop a
procedure to define methods for the creation, maintenance
and obsolescence of the quality manual and other documents
of our system.
The standard, as well as many companies around the world,
call this function documentation control. Born in the Soviet
Union under what was undoubtedly one of the most
totalitarian regimes in the world, I am averse to the word
control. There are also indications that this word started to
be considered misleading in the Western world as well. Quality
Control discipline, for example, was transformed into Quality
Assurance, emphasizing prevention rather than the detection
of problems. The American Society for Quality Control (ASQC)
renamed itself in 1997 to the American Society for Quality
(ASQ). So lets also switch from control to management to
demonstrate our awareness of contemporary thinking, and
manage our documentation system with a Documentation
Management Procedure.
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The Documentation Management Procedure you use will

depend on the type of the media for your documentation
system. Traditional paper systems, where documents are
produced, approved and maintained on paper, are still
perhaps the most frequently used approach. However, an
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increasing number of companies are switching from paper to

electronic, computer-based documentation systems.
Documentation Management Procedures for these two
systems differ for a number of reasons. An electronic media
system wont require, for example, a master list as a separate
document an active document directory on your computer or
a network will serve this function. The Documentation Change
Record Log may not be needed, as your software may be
programmed to generate a change number. Our
Documentation Management Procedure covers both, paper
and electronic systems. Lets title this procedure
Documentation Management Procedure, assign it revision D1
and add it to our Documentation Master List.
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4.8 Organizational chart

An organizational chart lists all the functions within a company
and establishes relationships between these functions. Use of
an organizational chart addresses the requirement of the
element 5.5.1 of ISO 9001 standard, Responsibility and
authority. This element requires an organization to define
responsibilities and authorities within the organization.
There are a number of formats used for this purpose.
One of the most typical formats for an organizational chart is a
block diagram. The blocks are arranged in the hierarchical
structure showing reporting relationships of companys
functions and personnel. A typical organizational chart in this
format is shown below:
Block Diagram Organizational Chart
Jerry Goal,
President
Lisa Cash
Director, Finance
Mark Wright
Director, QMS
Danette Sale
Director, Sales
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Pictorial Organizational Chart

One of the most visual formats is a pictorial organizational
chart. If you have access to a digital camera and color
printers, this may be the way to go. These charts are very
easy to remember and use. A sample of this type of
organizational chart is shown below.
List Organizational Chart

Another format of an organizational chart may be as simple as
a list similar to your hard drive directory structure. The benefit
of using this format is its simplicity. A simple text format
without time-consuming photos or block diagrams may work
well in the beginning.
Our Documentation Chapter includes both templates: Pictorial
and a list Organizational Chart. These two temples are
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included in our Documentation Master List. Lets add these

documents to our master list with their revisions D1.
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4.9 Records Procedure

Element 4.2.4 of ISO 9001 Standard, Control of records,
requires a system for management of records. As soon as we
approve and release our first DCR, this DCR becomes our first
record. What do we do with it? Element 4.2.4 requires a
system to ensure that records are:
Identified,
Appropriately stored,
Retrievable,
Retained for a defined period of time, and
Appropriately dispositioned.
The standard requires establishing periods for retention of
records. Knowledge preservation, legal and customer
requirements may affect the retention times. It is not
uncommon to see numerous retention times for records. Some
companies choose to simplify this process by limiting retention
times to one or two periods. In practice, especially small
businesses, maintain their records for the life of the business
regardless of their nature. If you choose to establish one
common retention period, the Records Matrix may be
simplified by eliminating the Period column. The retention
period may simply be documented within the text of the
procedure. Our Records Procedure is shown in the Documents
Chapter. Lets add it to our Documentation Master List with its
initial draft revision D1.
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4.10 Records Matrix

Depending on the number of records you plan to maintain, the
Records Matrix may be part of your Records Procedure or a
stand-alone document as shown below. Use of the stand-alone
matrix is justified for a large number of documents within your
management system. Lets add our Records Matrix to our
Documentation Master List with its initial draft revision D1.
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4.11 Quality Policy

Element 5.3 of ISO 9001 Standard requires The
management of an organization to establish a quality policy
and ensure that the policy:
Is appropriate to the purpose of the organization;

Includes a commitment to comply with requirements;
Includes a commitment to continual improvement of the
effectiveness of the QMS;
Provides a framework for establishing and reviewing
quality objectives;
Is communicated and understood within the
organization;
Is reviewed for continuing suitability
When developing your quality policy, consider your

organization's vision and mission statements. Taking them
into account will help you set a framework as to how your
quality policy can ensure conformance with the companies
long term plans and continual improvement. Also, make sure
that all the requirements for a quality policy listed in the
standards are addressed.
Surprisingly, very few companies we worked with achieved
this objective. By some reason, often companies formulate
their quality policies as a mission statement. For example:
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All [Company name] employees are committed to

enhancing human health by providing high quality, safe
and effective [type] products and services which meet
our customers needs, focusing on continuous
improvement.
In the statement above, the company probably meant
continual improvement, not continuous improvement,
which is hard, if not impossible, to achieve. Also, this sample
does not appear to address compliance with requirements,
framework for review of quality objectives and communication
of the quality policy.
One of the companies I had pleasure of working with, took
this short quality policy approach to the extreme. Their
quality policy read::
I improve the Quality of Patient Care and all things
[Company name]
You are probably scratching your head and wondering if I
forgot a line or two or just simply joking. No, I am not joking
and I did not misspelled or took a single word out of this sorry
example, except for the company name!
This practice of presenting a mission or a vision statement as
a quality policy is quite common. If you really have to use
your mission statement as or within your quality policy, I
suggest considering the following approach, using the example
above:
All My Company, Inc. employees are committed to
enhancing human health by providing high quality, safe
and effective products and services that meet our
customers needs with focus on continual improvement
by:
Maintaining a Quality Management System to
meet requirements of the ISO 9001:2008
standard;
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Complying with all applicable regulatory

requirements,
Continually improving the effectiveness of our
Management System,
Periodically reviewing the performance of the
Management System and our quality objectives.
Communicating this quality policy to our
employees, and
Reviewing the quality policy for its continuing
suitability.
This example uses your mission statement which is

supported by specific commitments to address
requirements of the standard. Using this approach or a
sample of Quality Policy from our documentation set, will
provide your organization with a quality policy that reflects
its vision and at the same time meets requirements of the
standard.
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When you formulate your Quality policy, avoid including any

specific targets or goals - these may change more frequently
than you will want to update your policy, Also stay away from
declaring that your company is or planning to be a world or
industry leader - auditors may ask you to prove it. I did
worked though with a couple of customers who did these
declarations and in fact were industry leaders, but it cost them
thousands of dollars a year to demonstrate this fact through
independent complex competitive customer surveys.
As a rule, companies want their quality policies be visible, so
they display them in the lobbies, offices walls, communication
boards, etc. These displays intend to remind everyone of the
companys quality policy. It has been my experience that
these displays are usually not under revision control. Most
companies I worked with simply retyped their quality policies
from their quality manuals to frame them to show to the
public. Sounds simple and easy, but there is a problem with
this approach retyped policies are not controlled.
Surprisingly, only two or three of our customers controlled
their quality policy displays and tracked their distribution. I
believe it is more practical to have just one quality policy. Our
quality manual references such a policy that can be used for
display. Our Master List contains a document titled Quality
Policy Display. The Documentation Master List Distribution
Matrix will assure that all hard copies of this document are
tracked. If we change our quality policy, we will be able to
locate all its copies and replace them with the new revision.
Lets title our quality policy the Quality Policy Display and add
it to our Documentation Master List. To see an example of a
quality policy that meets requirements of ISO 9001:2008
Standard, visit our Website at http://www.qualityworks.com/Quality-policy.htm.
Perhaps you noticed that the two last statements in the policy
regarding happy employees and financial performance are not
required by the standard. This is just an example of how you
can customize your quality policy. From my perspective,
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happy employees make better products and profitability

assures that financial resources are available for an effective
management system.
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4.12 Quality Manual

The Documents Chapter contains a template of ISO
9001:2008 quality manual. Details on how to customize your
manual are shown in the following chapters. Lets name this
document Quality Manual, assign it revision D1 and add it to
our Documentation Master List.
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4.13 Quality Manual Review

Checklist
Regardless of whether you use this book to create your quality
manual from scratch, or use our model to tune-up your
existing manual, it is a good to verify our new manual before
its release. Remember that we started from the objective to
create a manual that covers all requirements of the ISO
9001:2008 Standard. To make sure that weve accomplished
this goal and did not overlook anything, lets use the ISO
9001:2008 Quality Manual Review Checklist, shown in the
Documents Chapter.
This checklist is simply a map of the standard with a list of
elements, sub-elements, details and notes. As a rule,
registrars use similar checklists to review quality manuals for
compliance with applicable standards. For more details on how
to develop and use various checklists, check out my article at
http://www.quality-works.com/learn-manual-checklist9001.htm
Our ISO 9001:2008 Quality Manual Review Checklist is shown
in the Documentation Chapter. Lets name it as such and add
it to our Documentation Master List with the revision D1.
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4.14 Documentation Change

Record (DCR)
To release a document, it is a good idea to create a record to
specify the nature of the change and to provide evidence of
review and approval as required by element 4.2.3 of ISO
9001:2008 Standard. The following information will be needed
on this form:
DCR number;
Change type: permanent or temporary;
Originator name;
Change description;
Reason for change: Improvement, Correction of
previous releases or others;
List of other documents affected by the change;
Disposition of existing stock of physical inventory;
Validation record;
Review and approval records, including regulatory
approval, if applicable;
This form is shown in the Documentation Chapter and is titled

Documentation Change Record. Lets assign it revision D1 and
add it to our Documentation Master List.
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4.15 Documentation Change

Record Log
To track our DCRs, it is helpful to create a log. Lets call it the
Documentation Change Record Log and add it to our master
list with its revision D1. This log is included in the
Documentation Chapter and illustration is shown below.
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4.16 Summary
In summary, to release our Quality manual, we need to
develop and release the following core documents:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
Documentation Master List,

Document Template Procedure,
Form Template Portrait,
Form Template Landscape,
Documentation Management Procedure,
Documentation Change Record,
Documentation Change Record Log,
Organization Chart,
Records Procedure,
Records Matrix,
Quality Policy,
ISO 9001:2008 Quality Manual Review Checklist,
Quality Manual,
ISO 9001:2008 Standard, as an external document
Which one of these documents comes first? Well, there is no

first document in this list. By releasing the Documentation
Master List first, we will not have a mechanism for recording
the change. Releasing the Documentation Change Record first,
we will not know how to identify it. Releasing the change log,
we will not know what format to use, etc. this list is a bit like
the chicken and the egg. To get a documentation system
started, at a minimum, we need to develop and release all the
documents listed above simultaneously.
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4.17 The First DCR

An example of a completed DCR, which will be used to release
the first revision of our Quality Manual as well as other key
documents, is shown in the Documents Chapter. To complete
your own DCR simply follow the instructions in the DCR Form.
When you are ready to submit your first DCR for review and
approval, include copies of all documents that you propose to
release along with it. It is also a good idea to include a CD or a
memory stick containing the files of the documents you want
to release or change, unless you are processing your changes
electronically.
As you may have noticed, our first DCR has a Temporary
status, which is not by accident. It was released as
temporary to validate the new procedures that we
developed. You may be surprised how many trials it takes to
polish a procedure! Some time ago, we worked with a
company on the documentation for a new product line. The
process was under Validation Protocol, so we kept track of
how many revisions were made to our manufacturing
procedures. If you guessed around 5, you were very close to
our experience! We released approximately 15 procedures
with an average number of modifications of 4.
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Chapter 5
Customizing
your Quality
Manual
5
Chapter 5 Customizing your Quality Manual
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5.1 Navigation
Whether you are creating your quality manual from scratch or
tuning-up an existing manual, it is a good idea to keep the
numbers of the elements of your manual referenced to the
standard. A simple table, similar to the one below will serve
as a good map.
Sec
1
2
3
4
5
5.1
5.2
6
6.1
6.2
6.3
6.4
6.5
6.6
The manual
Process / Clause
Table of contents
Company information
Definitions
Scope
Quality management system
General requirements
Documentation requirements
Management responsibility
Management commitment
Customer focus
Quality policy
Planning
Responsibility, authority and
communication
Management review
ISO 9001:2008
Clause
--------4
4.1
4.2
5
5.1
5.2
5.3
5.4
5.5.
5.6
If your manual includes additional sections not required by the

standard or you use an integrated manual for more than one
standard, you should consider including standard-to-manual
reference table to simplify navigation for yourself and your
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auditors. For example, an integrated system manual for ISO
9001:2008 and ISO 14001:2004 may look like this:
9001
14001
--------4
4.1
4.2
5
--5.1
5.2
5.3
5.4
5.5
--------4
4.1
4.4.4
--4.2
4.2
----4.3
4.4.1
5.6
4.6
Manual
Process / Clause
Table of contents
Company information
Definitions
Scope
Management system
General requirements
Documentation requirements
Management responsibility
Environmental policy
Management commitment
Customer focus
Quality policy
Planning
Responsibility, authority and
communication
Management review
Sec
1
2
3
4
5
5.1
5.2
6
6.3
6.1
6.2
6.3
6.4
6.5
6.6
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5.2 Corporate Manual

Introduction
While numerous successful models of ISO 9001, ISO 13484,
ISO 14001 and other management systems have been
developed and are being used in various industries,
approaches to documenting management system structures
for multi-site enterprises are limited at best. This section
discusses a method for establishing a top-level documentation
structure that allows a business with multiple facilities to use
common management system policy and manual. This
significantly improves consistency of the corporate message
regarding quality, environmental, health & safety and other
policies, while reducing the number of documents within the
organizations management system
Current practices create inconsistencies
Through my work as a Lead Auditor with major registrars, I
observed dozens of large multi-location companies struggling
with connecting their corporate policies and manuals with the
supporting, location-specific documents. To develop a manual
for a company with numerous facilities, organizations take two
routes. Some companies create site-specific manuals as copies
of the corporate manual; others produce site-specific manuals
that are totally independent from the corporate manual.
In the first case when a site-specific manual is a copy of the
corporate manual with modifications specific to a given site,
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mechanisms to keep the manual coordinated with the
corporate manual are rarely defined. Difficulties of keeping
these documents in sync are due to the fact that corporate
manuals are controlled by the home office, while local manuals
are responsibility of sites documentation control departments.
The second technique, when manuals are completely
independent, very often leads to major disconnect of the
corporate and local policies and manuals. From the corporate
identity and simply business consistency points of view, an
organization should not find itself in a position of having
different or conflicting commitments of its facilities to quality,
environmental issues, customer satisfaction, safety hazards
and other requirements of applicable standards. One of our
large customers demonstrated this point well. The corporate
quality policy and manual addressed majority of the
requirements of applicable standards and referenced
appropriate regulations. At the same time, Mexico facility did
not reference required ISO 13485 standard, Costa Rica missed
a commitment to compliance with regulatory requirements,
yet another US location failed to document their quality policy
all together!
As we can see, both discussed approaches to creation of
locations manuals as copies of the corporate manuals or
independent manuals do not appear to be practical. Besides, if
a company has already spent time on developing a manual,
why should another employee in the same organization spent
more time to create a similar or duplicate document?
Corporate manuals can be used by all locations
To solve this problem, lets review, as an example, ISO 9001
quality manual model, specifically supporting document
reference method. As a common practice, a manual references
supporting documents within the text of the manual. For
example, clause 5.5.1 of the manual, Responsibility and
authority, may read:
QW Enterprises, LLPs Management Team ensures that
the responsibilities and authorities are defined and
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communicated within the organization per the Resource
Management Procedure and the Organizational Chart.
This approach works well for a single location company. It also
will work for a multi-site organization for common documents
that are used at all locations. For example, such processes as
Management Review, NC-CAPA Procedure, Documentation
Management Procedure, Audit Procedure, and others may be
the same for all locations and therefore be referenced in the
quality manual as shown above. However, what if our
locations need to use different organizational charts, product
realization procedures, and other site-specific documents? If
we choose to maintain a common manual using reference
method above, clauses of the manual should list
corresponding documents for all locations which may not be
practical. Below we will explore how a corporate manual can
practically reference location-specific documents to support
commitments of the companys common manual.
The same reference structure as for a single-location company
can be used if the number of locations is small, lets say two
or three. In this case, clause 5.5.1 of our corporate manual
may state:
Management Procedure, Organizational Chart HO and
Organizational Chart Ontario.
This example shows references to the common Resource
Management Procedure and site-specific organizational charts
for the Home Office (HO) and the Ontario locations. While this
model works well for a limited number of facilities, it becomes
impractical when the number of locations is significant.
Manual Reference Matrix
For companies with large number of locations, where we need
to reference in the manual numerous documents including
those controlled by satellite locations, we have another option.
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We can establish a document to connect corporate manual
commitments with the site-specific supporting documents.
Lets name this document a Manual Reference Matrix and
consider the following document reference structure.
Manuals clause
Manual Reference Matrix Table of Contents (ToC)
Site-specific Manual Reference Matrix
Corresponding site-specific document
Our Manual Reference Matrix ToC is simply a list of all
companys locations and their Manual Reference Matrixes. This
list may look this:
Manual Reference Matrix Table of Contents
Home Office (Denver, Colorado, USA)
Ontario (Canada)
St. Petersburg (Russia)
Guanajuato (Mexico)
Port Williams (Chile)
etc,
To illustrate this model, lets document the same clause 5.5.1
of our corporate manual with references to site-specific
organizational charts:
Management Procedure and site-specific Organizational
Charts per the Manual Reference Matrix ToC.
This clause tells us that to support commitments above the
company uses common Resource Management Procedure and
site-specific organizational charts. To locate a site-specific
organizational chart, we need to refer to the Manual Reference
Matrix Table of Contents. Following the hyperlink Ontario
(Canada) we will find the site-specific Manual Reference
Matrix Ontario. Locating element 5.5.1 in the Ontario Manual
Reference Matrix, we will find that Ontario location uses for
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this clause of the manual a document titled Organizational
Chart Ontario.
A Manual Reference Matrix may be formatted as a threecolumn form as shown below:
Quality Manual Reference Matrix
Corporate Quality Manual
Sec
Process / Clause
5.5.1
Responsibility and
authority
Resource Management
Procedure
Organizational Chart HO
Site: Ontario
Resource
Management
Procedure
Organizational
Chart Ontario
Scopes and exclusions

Now, when we successfully resolved the issue with references
to site-specific documents, lets see how we can address
different scopes, exclusions and other similar elements. Lets
say that our corporate office maintains an integrated quality
and environmental management system compliant with ISO
9001:2008 and ISO 14001:2004 standards. The corporate
office management system satisfies all requirements of ISO
9001 standard and therefore does not declare any exclusions.
At the same time, our Ontario facility is certified to ISO
9001:2008 only and does not perform design function,
therefore excluding design from its scope of certification.
These differences can be documented within the same Manual
Reference Matrix. Section 1.1, Purpose and scope of the
matrix references ISO 9001:2008 and ISO 14001:2004
standards for the corporate office, while Ontario facility
references only ISO 9001:2008. Similarly, element 1.2 of the
matrix, Application, states for the corporate office:
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Application, QW Enterprises LLPs Management System
satisfies the full range of requirements of ISO 9001:2008
Standard., while for the Ontario facility this element reads:
QW Enterprises LLPs Ontario facility does not perform design
function, therefore, design is excluded from the scope for this
facility. As shown in the illustration below:
Quality Manual Reference Matrix
Corporate Quality Manual
Sec
Process / Clause
1
Table of contents
1.1
Purpose and scope
ISO 9001:2008
ISO 14001:2004
1.2
Application
QW Enterprises LLPs
Management System
satisfies the full range of
requirements of ISO
9001:2008 Standard.
2
Company information
Site: Ontario
Title
ISO 9001:2008
QW Enterprises
LLPs Ontario
location does not
perform design
function, therefore,
design is excluded
for this facility
Corporate
After completion of the template matrix for a given location,

this document, as any other, will be given a document title, a
document number, if required, and be released through the
local documentation change process. This approach will ensure
consistency of the quality manual across all locations of the
company.
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Controlling Manual Reference Matrix

It is a good idea to make your Manual Reference Matrix ToC a
part of your Corporate Manual. It is also beneficial to control
your Manual Reference Matrix Template through the corporate
documentation management system to ensure consistency of
the matrix format used by different locations. Each of your
facilities will use this template matrix to document their sitespecific references addressing requirements of the corporate
manual.
After completion of the Manual Reference Matrix by a given
location, this document, as any other, will be given a
document title, a document number, if required, and be
released through the local documentation change process. Any
changes to the corporate manual should trigger review and, if
necessary, changes to the Manual Reference Matrix Template
and Manual Reference Matrixes of all locations.
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Chapter 6
Documents
6
Chapter 6 Documents
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6.1 Documents - Table of

Contents
The full version of this book includes an ISO 9001:2008
compliant Quality Manual and key procedures per the list
below:
Documentation Master List,

Document Template Procedure,
Form Template Portrait,
Form Template Landscape,
Documentation Management Procedure,
Documentation Change Record,
Documentation Change Record Log,
Organization Chart,
Records Procedure,
Records Matrix,
Quality Policy,
ISO 9001 Quality Manual Review Checklist, and
ISO 9001 Quality Manual.
Chapter 6 Documents
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Chapter 7
Afterword
Chapter 7 Afterword
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7.1 Afterward
If you followed advices of this book and, using the referenced
documents, created and released your first DCR, you have
definitely saved yourself a lot of time and money, as I
promised in the beginning. However, just having manual and
key procedures will not bring a company an effective quality
management system. An effective management system is one
that practically represents your organizations processes and is
understood and used by the organization. Make sure that
everyone knows and understands your quality manual and
policy. Make sure that procedures and instructions are used by
the functions for which they were written.
So whats the next step? Continue developing, validating and
implementing other procedures and instructions to cover all
elements of the standard as well as your specific processes.
Encourage everyone to provide input to relative documents.
While developing second-level procedures, do not forget that
their intent is not only to define your processes, but also to
support particular elements of your quality manual. Before
release, make sure that your second-level procedures address
all elements of the manual where they are referenced. To
locate all occurrences of a title of a procedure in the manual,
you may use the Find function in your word processor or the
Procedure index in our Quality Manual.
I hope this book helped you to get started. Good luck with
your efforts in creating a quality management system that
meets the requirements of all applicable standards and
regulations. I wrote this book for you, gentle reader, and
Chapter 7 Afterword
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would like to continue to improve upon it. Any feedback on
this publication that you may provide will help me to enhance
future editions. Please drop me a line and let me know what
you think. If you are still reading a preview version and need
to get your quality manual released, get the full version of the
book. Visit our site at www.quality-works.com and order your
copy today!
Chapter 7 Afterword
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7.2 License Agreement

Read terms and conditions shown in the License Agreement on
the Quality Works Website www.quality-works.com before
downloading or using this Software. Your use of this Software
indicates your acceptance of the License Agreement
referenced to above.
Chapter 7 Afterword
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7.3 References
[1]
[2]
[3]
[4]
[5]
[6]
[7]
ISO 9001:2008 Quality management systems

Requirements
Encyclopedia Britannica, The Eleventh Edition, 1910.
Fundamentals and vocabulary
Guidelines for performance improvement
Big Three Are Serious About QS-9000 Certification,
Amy Zuckerman, Quality Progress, January 1998.
ISO 10013:2001 Guidelines for developing quality
manuals.
http://www.salaryexpert.com
Chapter 7 Afterword
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Mark Kaganov

QW Enterprises, LLP, a fictional company referenced in this book,